Hong Kong
Competitive Salary
Job Type
Ruth Ma
Contact email
Email Ruth
  • Investment Compliance focus
  • Solid experience in Asset Management
  • Stable team & business (up to 70K base)

The Company:

With over 15 years of experience, the company provides a wide range of financial services including investment management and wealth management to both individual and institutional clients. This presents a rare opportunity for mid to senior level candidates with solid experience in Asset Management to join a Regional Legal & Compliance team and acquaint themselves with broader Corporate and Investment Compliance exposures.
In your new role, you will
  • Lead the investment compliance function in providing accurate and strategic advice to the investment team and other business units on daily compliance queries
  • Oversee the implementation of investment restrictions / regulatory requirements to a broad range of fund products (including SFC-authorized funds, MPF funds, UCITS funds) across multiple jurisdictions
  • Perform pre- and post-trade monitoring, and rules coding in Bloomberg AIM to enhance and ensure compliance alerts are reviewed and assessed on a timely basis
  • Conduct real-time trade surveillance; identify and investigate potential investment breaches and prepare regular reports to relevant stakeholders
  • Support the team in other business and regulatory compliance issues  


  • Bachelor’s degree or above in Business, Finance, Law or related discipline
  • Minimum 5-10 years of progressive buy-side compliance experience
  • Expert knowledge / prior experience in dealing with investment compliance of SFC-authorised funds
  • Self-motivated with exceptional collaboration skills
  • Fluency in written and spoken English and Chinese for internal & external communications and engagement

Interested parties please get in touch with Ruth Ma via

BeathChapman Pte Ltd